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Headline Issue Diary Date
Hong Kong's SFC fines Jinrui Futures $4.8 million for failures in complying with AML/CFT spanning a period of over three years 260 CompliNEWS 16 Feb 2023
Hong Kong's SFC consults on proposals to regulate virtual asset trading platforms 260 CompliNEWS 16 Feb 2023
39% claim that their investigative and research skills are helping them spot signs of investment fraud – report 260 CompliNEWS 16 Feb 2023
Protection of Personal Information Act – Rules and procedure relating to manner in which a complaint may be referred to and considered for a finding and recommendation by Enforcement Committee 260 CompliNEWS 16 Feb 2023
Information Regulator refers National Department of Health to the Enforcement Committee regarding personal information collected during Covid-19 260 CompliNEWS 16 Feb 2023
Guidance published on the application of section 14(7)(b) of the Pension Funds Act 260 CompliNEWS 16 Feb 2023
'Determination of format of documents in respect of requirements related to the payment of pension fund contributions' updated 260 CompliNEWS 16 Feb 2023
FSCA warns the public against a fraudulent e-mail purporting to be from the FSCA 260 CompliNEWS 16 Feb 2023
Pension industry raises two-pot deadline warning 260 CompliNEWS 16 Feb 2023
Greylisting risks boosting costs for South African banks, state companies, announcement expected at the end of the week 260 CompliNEWS 16 Feb 2023
Working Smart

By Lee Rossini

Business continuity planning (BCP) is a structured approach that ensures a financial advice business can continue operating during and after unexpected disruptions. These disruptions might include natural disasters, cyberattacks, power outages, regulatory shocks, or even the sudden loss of key personnel. In a profession built on trust, timely communication and regulatory compliance, having a robust continuity plan is not optional; it is essential for protecting clients, safeguarding data and preserving the firm’s reputation.

CPD

Subscribers are reminded that they can complete monthly CPD quizzes and claim CPD hours before the 31 May deadline. View the CPD FAQs for more on accessing the CPD quizzes.

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